SEC Form 4 · accession 0001412665-15-000001
MidWestOne Financial Group, Inc. · MOFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary John Ortale
Officer — EVP, CFO & Treasurer
Period of report
Jan 18, 2015
Accepted (ET)
Jan 20, 2015 · 7:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412665
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 18, 2015 | F | 68 | $28.36 | D | 7,224 | D | |
| Common StockF2 | holding | — | — | — | 2,222 | I | By ESOP | |
| Common Stock | holding | — | — | — | 10,000 | I | By IRAs | |
| Common Stock | holding | — | — | — | 1,500 | I | By Spousal IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $16.69 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 500 | 500 | D |
| Employee Stock Option (Right to Buy)F4 | $9.34 | holding | — | — | — | — | Jan 22, 2019 | Common Stock | 500 | 500 | D |
| Employee Stock Option (Right to Buy)F5 | $7.02 | holding | — | — | — | — | Jul 16, 2019 | Common Stock | 4,800 | 4,800 | D |
Explanation of responses
- F1Restricted Stock Units withheld to pay payroll taxes due upon vesting and issuance of Restricted Stock Units shares from January 18, 2011 award, issued on January 18, 2015.
- F2Shares held in the MidWestOne Financial Group, Inc. Employee Stock Ownership Plan as of December 31, 2014. Shares increased by 412 shares since the date of the previous form filing due to allocations made to the reporting person's account during year 2014.
- F3The option vests in four equal annual installments beginning on April 1, 2009.
- F4The option vests in four equal annual installments beginning on January 22, 2010.
- F5The option vests in four equal annual installments beginning on July 16, 2010.